11/16/2010 12:30 p.m. - 02:00 p.m. EST
Banking + Financial Services, Corporate Finance | Capital Markets, Corporate, Financial Institutions + Financial Services, Financial Services, and Broker-Dealer Compliance + Regulation
Hillel T. Cohn
The SEC is studying the existing standards of care for broker-dealers offering personalized investment advice to retail investors. Comments have been flowing into the SEC identifying a number of the issues that would be raised by the imposition of a fiduciary duty standard on broker-dealers. By early 2011, the SEC will have completed its study and may have proposed new rules for broker-dealers. Topics Will Include:
ALI-ABA's cost for this program is $199. ALI-ABA will provide CLE credit.
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